Statement of Changes in Beneficial Ownership (4)
15 Maio 2023 - 7:58PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
BRADLEY CHARLES E JR |
2. Issuer Name and Ticker or Trading Symbol
CONSUMER PORTFOLIO SERVICES, INC.
[
CPSS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
CEO |
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(Last)
(First)
(Middle)
3800 HOWARD HUGHES PARKWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/11/2023 |
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(Street)
LAS VEGAS, NV 89169 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock, no par value | 5/11/2023 | | M | | 57470 | A | $3.48 | 3573601 | D | |
| Common Stock, no par value | 5/11/2023 | | M | | 242530 | A | $3.48 | 3816131 | D | |
| Common Stock, no par value | 5/11/2023 | | F(1) | | 97361 | D | $10.91 | 3718770 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (right to buy) | $3.48 | 5/11/2023 | | M | | | 300000 | (2) | 5/12/2023 | Common Stock, No Par Value | 300000 | (3) | 0 | D | |
| Explanation of Responses: |
| (1) | Represents a "net exercise" of outstanding stock options. The reporting person received 145,169 shares of common stock on net exercise of option to purchase 242,530 shares of common stock. The reporting person forfeited 97,361 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 11, 2023 of $10.91 per share. |
| (2) | Became exercisable in cumulative increments of 75,000 shares on May 12, 2017, 2018, 2019 and 2020. |
| (3) | Issued in consideration of the named person's services to the issuer. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
BRADLEY CHARLES E JR
3800 HOWARD HUGHES PARKWAY
LAS VEGAS, NV 89169 | X | X | CEO |
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Signatures
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| /s/ Charles E. Bradley, Jr. | | 5/15/2023 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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